JOB DESCRIPTION/ACCOUNTABILITIES

• Conduct regular audits of the screening processes to ensure adherence to regulatory requirements and internal policies.
• Provide ongoing training and support to staff conducting sanctions screening activities to ensure full comprehension of processes, procedures, and regulations.
• Review and analyze screening processes and procedures to identify potential weaknesses or areas for improvement.
• Develop and monitor key quality metrics to measure the performance of the sanctions screening process.
• Participate in team initiatives, business requirements gathering and perform business validation activities to facilitate successful project deployments.
• Assist to identify, mitigate, and report on risk issues as per enterprise policy guidelines and ensure appropriate escalation process is followed.
• Assist with reviewing current/future processes to identify potential gaps/risks and provide recommendations for remediation.
• Assist with carrying out strategic and tactical changes for the team.

QUALIFICATIONS/SKILLS/EXPERIENCE

• Relevant university degree and/or relevant work experience
• Excellent PC skills including strong proficiency in Microsoft Office applications
• Understanding of the business unit and operational functions is an asset
• Excellent written and spoken communication and interpersonal skills
• Proactive, shows initiative, and has the capacity to learn and adapt quickly
• Strong analytical and problem-solving skills
• Excellent organizational and time management skills
• Demonstrated commitment to continuous learning
• A high degree of commitment to quality work and customer service
• Ability to understand, document, and analyze operational processes, issues, and incidents
• Must be a team player

WHO WE ARE:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Please refer the Job description for details